This website does not contain information on investment advisers or brokers that:

Are not currently registered, have not been registered or have not submitted any Form ADVs within the last ten years (for example, they may have stopped practicing more than ten years ago);

Filed an application for registration with the SEC or a state that has not yet been approved; or

Registered via paper filings with the states instead of filing electronically through this system.

If you cannot find the individual or firm that you are searching for, try the following:

Confirm that you have selected “individual” or “firm” in the search box, as appropriate.

Make sure that you have spelled the name of the individual or firm correctly. If you are uncertain as to the complete spelling, try spelling just the first part of the name. If you know their IARD/CRD number or SEC "801-" or “802-" number, enter it.

Call (240) 386-4848 or send an email to IARD@finra.org for technical assistance in performing your search.

Contact your state regulator [nasaa.org] or the SEC at (202) 551-7250 to check if the individual or firm that you are searching for has a pending application for registration or registered via paper filings instead of filing electronically through this system.